Generates sales or revenue by:
- Identifying new business opportunities to acquire additional assets and/or increase revenue
- Establishing targeted revenue levels for each segment of the book
- Using in-depth knowledge of products and services to identify new opportunities within the existing client base
- Ensuring investment recommendations are suitable and align with client’s financial goals, objectives and risk tolerance
- Maintaining a good understanding of client profiles and corresponding investment strategies
- Managing the execution of transactions on behalf of the advisor
- Ensuring non-solicited trades meet the client’s risk tolerance
Provides a high level of client service by:
- Preparing, analyzing, and presenting reports and recommendations
- Assist the advisor in developing investment plans
- Working with the advisor to develop client communications and marketing pieces
- Proactively recommending team and business process improvements
- Responding to client requests, inquiries, and concerns promptly and efficiently
- Offering clients sound investment advice that align with their investment objectives
- Adhering to regulatory policies by staying up to date with all industry rulings and policies
- Ensuring all client interactions are accurately documented
Contributes to business development by:
- Assisting the advisor in the creation, preparation and presentation of business plans
- Managing marketing programs, including the development, approvals and implementation
- Prospecting and following through on sales leads
Manages the effective functioning of the team by:
- Regularly reviewing practices to ensure administrative processes are streamlined
- Building effective working relationships across the team and with corporate head office
- Maintaining a high level of client service
- Facilitating a culture of open and honest communication
- Actively participating and contributing to team meetings
- Encouraging the generation of new ideas and approaches
- Sharing knowledge and experience to enhance the development of all team members
- Exhibiting commitment to grow into a highly trained advisor
Educational Requirements
- Five years of industry experience
- Excellent written and verbal communication skills
- Strong organizational skills
- Growth-oriented with ability to take initiative and work independently
- Ability to meet deadlines
- Understanding of industry and firm compliance regulations
- In-depth industry knowledge
- Post-secondary education
TRAINING AND ACCREDITATIONS
- Canadian Securities Course (CSC)
- Conduct and Practices Handbook (CPH)
- Wealth Management Essentials (WME) prior to enrolling in Registered Representative Training
- Registered Representative Training (RRT)
- Relevant licensing as required by the advisor’s business
Working Conditions
The role operates within a standard office environment. Seminars and client/prospect events are often held in the evening which may require a longer than usual working day. The branch is a fast paced, often high stress, environment with multiple demands and requirements.
